Welcome to the IARDTM website. This site provides investment adviser firms and representatives with a variety of information about the IARD system. The Investment Adviser Registration Depository (IARD) is an electronic filing system that facilitates investment adviser registration, exempt reporting adviser filing, regulatory review, and the public disclosure information of investment adviser firms. FINRA is the developer and operator of the IARD system. The system has been developed according to the requirements of its sponsors, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA), along with those of an Industry Advisory Council representing the investment adviser firms.
Information geared to the investing public can be found on the SEC website under the “Investor Information” section.
What’s New on IARD
Please look to this area of the home page on a frequent basis for regular updates, new information, and documents about how to use the IARD system. IARD is generally available from 7 a.m. to 11 p.m., Eastern Time (ET), Monday through Friday. IARD is not available on FINRA-observed holidays and is not available after 6 p.m., ET, on the business day immediately preceding some holidays. Please refer to the IARD Availability Schedule for detailed weekend and holiday availability.
2013 IARD Renewal Program Concludes
The 2013 Renewal Program concluded on February 1, 2013. Details of the 2014 Renewal Program will become available on the Renewal Program page in early November 2013.
Annual Entitlement User Accounts Certification Was Due Feb. 13
The 2013 FINRA Entitlement User Accounts Certification Period ended on Feb. 13, 2013. If you are a Super Account Administrator (SAA) of a firm with more than one user and have not yet certified, you should do so immediately. The ability to create, edit and clone accounts has been disabled and will remain so for your firm administrators until certification is complete. For detailed information, refer to the Annual Entitlement User Accounts Certification Process Web page.
Web CRD/IARD Software Release 2012.4
View an explanation of changes to Web CRD/IARD which were implemented with software release 2012.4 on October 29, 2012.
Form ADV-E Guidance for Independent Public Accountants
A quick reference guide to the Form ADV-E Surprise Examination Filing Website is now available for independent public accountants conducting a surprise inspection of an investment adviser firm.
FINRA.org: Add to Safe-Sender Email List
NASD and NYSE Member Regulation consolidated to form a single self-regulatory organization for the securities industry known as FINRA, the Financial Industry Regulatory Authority. FINRA is now the operator of the IARD system on behalf of the IARD program sponsors which are the SEC and NASAA. In order to ensure consistent delivery of FINRA emails to your inboxes, please add our email domain, FINRA.org to your firm's safe-sender list as soon as possible. If your email application requires you to enter individual email addresses to your safe-sender list in addition to, or in lieu of, an email domain, please add the following addresses:
